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CD

Conal C. Doyle

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CRD#: 1185414
CD

Professional summary

Conal Charles Doyle was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Conal is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Conal had worked at 2 firms, which includes WMA SECURITIES INC., FFMC SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 17, 1995 - July 14, 1995

WMA SECURITIES, INC.

BD
CRD#: 32625
DULUTH, GA
Past

December 12, 1983 - November 8, 1989

FFMC SECURITIES, INC.

BD
CRD#: 7658
BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/16/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 1/16/1995
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 10/19/1983
Direct Participation Programs Representative Examination

Current Firm

WS
WMA SECURITIES, INC.
WMA SECURITIES, INC.

CRD#: 32625 / SEC#: , 8-45728

BD
Terminated by SEC on 06/30/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
Georgia since 04/14/1993
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WORLD MONEY GROUP, INC.OWNER

Disclosures

Regulatory Event6
Arbitration6

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

WMA SECURITIES, INC.

CRD#: 32625

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